Compliance Consultant

- Compliance Consultant

- Field Based (Happy to look at candidates based in Leeds, Derby, Nottingham or Lancashire)

- c.£55,000+ Benefits

Our client is a leading compliance consultancy firm specialising in the wealth management and financial advisory sector. Their mission is to support Independent Financial Adviser (IFA) firms across the UK with pragmatic, tailored, and commercially focused compliance solutions.

As a Compliance Consultant, you will play a pivotal role in delivering hands-on compliance support to their IFA clients. This is a client-facing role requiring regular travel to firms across your designated region. You will work autonomously but with full support from their central compliance and technical teams.

Role & Responsibilities:

• Conduct compliance audits and file reviews in line with FCA requirements
• Advise clients on regulatory changes, systems, controls, and best practices
• Assist with the implementation of compliance frameworks and procedures
• Support firms with FCA applications, authorisations, and reporting obligations
• Deliver training and guidance to advisers and compliance officers
• Produce clear and concise reports and compliance documentation
• Maintain up-to-date knowledge of FCA rules, guidance, and market trends

Do you have the following to apply?

• Diploma qualified (DipPFS or equivalent) as a minimum
• Proven experience in a Compliance role within the wealth management industry

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.